RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
- M••••• S•••••• wirehouse currentsince Jun 10, 2022 · Oak Brook, Il
- F•••• T•••• S••••••••• I••• BD affiliatedOct 1, 2019 to May 25, 2022 · Oswego, Il
- C•••••• S••••• • C••• I••• national BDNov 25, 2015 to Sep 13, 2019 · Indianapolis, In
- F•••• T•••• S••••••••• I••• to M••••• S••••••left May 25, 2022, registered Jun 10, 2022 (16 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- C•••••• S••••• • C••• I••• to F•••• T•••• S••••••••• I•••left Sep 13, 2019, registered Oct 1, 2019 (18 days) · Affiliated broker-dealer or bank to another
- M••• J• R•••••• left F•••• T•••• S••••••••• I••• for M••••• S•••••• (registered 2022-06-10)May 25, 2022 · Advisor changed firm · fact
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Wirehousederived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address